Obligation to Former Employer and Former Client Following Acceptance of Position with State
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Engineer A clearly has an ongoing duty to honor his obligations both to his former employer and the private client. Engineer A should be assigned other duties by the state remain isolated from the State's water rights case involving Engineer A's former employer and its client—and the state should recognize and respect Engineer A's ethical obligations in this matter.
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Over the years, the NSPE Board of Ethical Review has considered a number of cases involving ethical concerns relating to an engineer’s involvement in adversarial proceedings.
As the Board has noted on at least one previous occasion, one of the most common ethical issues that engineers face in their professional lives is conflicts of interest. At one point in the past, engineering codes of ethics, including the NSPE Code of Ethics for Engineers, specifically implored engineers to avoid all conflicts of interest. The basis for this position was that the engineer cannot serve two masters, and when faced with a conflict of interest, the engineer must in all cases take steps to remove him or herself from such conflicts. Among the concerns expressed by supporters of this position was that engineers, who were involved in conflict of interest situations, created a poor image for the engineering profession because the issue raised the appearance of impropriety. However, over time, the engineering profession came to the general conclusion that by the very nature of the engineer’s role in society, conflicts of interests were virtually an immutable fact of professional engineering practice and that it was generally impossible for the engineer to, in all cases, remove him or herself from such situations. As a result, codes were changed and engineers were implored to disclose all known or potential conflicts of interest to their employers or clients by promptly informing them of any business association, interest, or other circumstance that could influence or appear to influence their judgment or the quality of their services.
In BER Case No. 98-4, the Board considered a situation involving Engineer A, who was retained by ABC Manufacturing for the purpose of reviewing documents to form an opinion in a patent litigation matter in an area of Engineer A’s expertise. Engineer A performed the requested services and was paid for her work by ABC Manufacturing. Several years later, Eng...
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Engineer A worked for a private engineering company in the field of water rights. The firm was hired by a client to complete a water-rights analysis in which Engineer A participated. Engineer A, along with one other employee at the firm, stamped the final document. These types of analyses quantify water and provide terms and conditions for future use that must be approved by the local courts. Typically, the court process takes years to complete and, in short, it includes the following steps: Application (proposal) Engineering to support application Objections from the public/other water users Rebuttal of objector’s comments Mediation or trialEngineer A worked on the project through step No. 2 and resigned from the firm to work for the State, who is an objector in this specific analysis (the State is typically an objector in most cases).Engineer A feels that he can and should support the work he performed and which was included in the stamped report, but he is concerned about the remaining steps in the court process. In his current employment, he has been isolated from the State’s case in the matter, and his current position does not include opposing this or other cases.
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What are Engineer A’s ethical obligations under the circumstances?
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150
Total Entities9/9
Components Populated9/9
With EmbeddingsCombined Embedding
Roles
R
w=0.12
384D
Water Rights Analysis Engineer
A licensed professional engineering role responsible for performing and stamping water-rights analyses that quantify...
State Objector Agency
A public agency stakeholder role that formally objects to water-rights applications in court proceedings,...
Engineer A Private-to-Public Transitioning Engineer
Engineer A transitioned from a private engineering firm where he stamped a water-rights analysis to the State, which...
Engineer A Water Rights Analysis Engineer
Engineer A participated in and stamped the water-rights analysis report prepared for the client, creating ongoing...
Private Engineering Firm Employer
The private engineering firm employed Engineer A, assigned him to the water-rights analysis project, and was the...
Water Rights Analysis Client
The client hired the private engineering firm to complete a water-rights analysis, initiating the multi-step court...
State Objector Agency Individual
The State is the formal objector in the water-rights court proceeding and is also Engineer A's current employer....
ABC Manufacturing Litigation Client
Retained Engineer A for patent litigation document review on two separate occasions; was also the defendant in...
Engineer A BER 98-4 Multi-Party Litigation Expert
Retained sequentially by ABC Manufacturing (patent litigation), then by Attorney X representing a plaintiff adverse...
Former Employer Confidentiality Obligated State Engineer
A licensed professional engineering role in which an engineer employed by a public agency is ethically required to...
Engineer A Current Case Private-to-Public Transitioning Engineer
Transitioned from private engineering firm (which had a client in a water rights matter) to state employment. The...
Multi-Party Litigation Expert Engineer
A licensed professional engineering role in which an engineer is retained as an expert witness or technical reviewer...
Attorney X Plaintiff Counsel Retaining Engineer
Retained Engineer A to provide expert services on behalf of a plaintiff in product liability litigation against ABC...
13 entities
Principles
P
w=0.2
384D
Absolute Loyalty Prohibition to Former Clients
Relational principle establishing that an engineer's duty of faithful agency and loyalty to a client or employer...
Conflict of Interest Disclosure Evolution Principle Invoked in Case Discussion
The Board's discussion traces the profession's evolution from absolute conflict avoidance to...
Engineer Non-Advocate Status Invoked Against Attorney Implication in BER 98-4
The NSPE Board rejected the attorney's implication that Engineer A acted improperly by serving adverse parties,...
Former Client Adversarial Participation Prohibition Invoked for Engineer A Water Rights Transition
Engineer A cannot participate in or represent the State's interest in the water rights proceeding because he gained...
Private-to-Public Employment Transition Conflict Obligation Invoked for Engineer A Water Rights
Engineer A's transition from the private firm (which performed the water-rights analysis for the client) to the...
Professional Accountability for Stamped Work - Engineer A
Engineer A's professional accountability for the stamped water-rights analysis persists after his departure from the...
Objectivity Obligation - Engineer A in Adversarial Water Rights Proceeding
If Engineer A were to participate in any aspect of the water-rights proceeding - whether defending his prior stamped...
Private-to-Public Employment Transition Conflict Obligation
Relational principle requiring engineers who transition from private practice to public agency employment to...
Stamped Document Ongoing Professional Accountability
Professional virtue principle establishing that an engineer's affixing of a professional seal to a technical...
Absolute Loyalty Prohibition Invoked in BER 98-4 Engineer A Multi-Party Litigation
Engineer A's sequential service to ABC Manufacturing (patent litigation), then to an adverse plaintiff (product...
Confidentiality Principle Invoked for Former Employer and Client Information
Engineer A is prohibited from disclosing confidential information concerning the business affairs or technical...
Dual Role Appearance of Impropriety Invoked for Engineer A Water Rights Transition
Engineer A's simultaneous status as former technical contributor to the water-rights analysis (stamped on behalf of...
Loyalty Principle Invoked for Engineer A Ongoing Obligations to Former Employer and Client
Engineer A retains ongoing loyalty obligations to both his former private firm employer and the water-rights client,...
Objectivity Principle Invoked for Engineer Expert Witness Role
The Board affirms that engineers serving as expert witnesses must render objective technical opinions based on...
Private-to-Public Transition Conflict - Engineer A Water Rights Case
Engineer A's transition from the private firm that stamped the water-rights analysis to the State agency that is the...
Conflict of Interest Recusal - Engineer A Isolated from State Case
Engineer A's current employer (the State) has isolated him from the water-rights case in which his prior stamped...
Engineer Non-Advocate Status in Adversarial Proceedings
Fundamental professional principle establishing that engineers, unlike attorneys, are not advocates when rendering...
Former Client Adversarial Participation Prohibition
Relational principle prohibiting engineers from participating in or representing an adversary interest in connection...
Dual Role Appearance of Impropriety Avoidance
Relational principle requiring engineers to recognize that occupying dual roles - as both a former technical...
Conflict of Interest Disclosure Evolution Principle
Fundamental ethical principle recognizing that the engineering profession's approach to conflicts of interest has...
Stamped Document Ongoing Professional Accountability Invoked for Engineer A Water Rights Analysis
Engineer A's stamping of the water-rights analysis report creates continuing professional accountability for its...
Loyalty Conflict - Engineer A Dual Obligations
Engineer A faces competing loyalty obligations: a residual professional loyalty to the former private client whose...
Confidentiality of Employer Information - Engineer A State Employment
As a State employee, Engineer A is obligated not to share the State's litigation strategy, internal technical...
Stamped Document Accountability - Engineer A Water Rights Analysis
Engineer A's stamping of the water-rights analysis report creates a continuing professional accountability for the...
24 entities
Obligations
O
w=0.15
384D
State Litigation Strategy Confidentiality - Engineer A Current Employer
Engineer A is obligated to protect the State's litigation strategy, internal technical assessments, and legal...
Stamped Document Continuing Technical Accountability Obligation
Duty of a licensed professional engineer who has affixed their seal to a technical document - such as a water-rights...
Private-to-Public Transition Adversarial Proceeding Non-Participation Obligation
Duty of a licensed professional engineer who has transitioned from a private firm to a public agency that is an...
Expert Witness Engineering Non-Advocate Objectivity Obligation
Duty of a licensed professional engineer serving as an expert witness or technical reviewer in litigation or...
Conflict of Interest Recusal - Engineer A Water Rights Proceeding
Engineer A is obligated to recuse himself from any involvement in the State's adversarial case against the former...
Former Employer Loyalty Boundary in Public Role - Engineer A Ongoing Obligations to Private Firm and Client
Engineer A retains ongoing loyalty obligations to both his former private firm employer and the water-rights client,...
Faithful Agent Duty - Engineer A to State Employer
Engineer A is obligated to act as a faithful agent to his current employer (the State) by respecting the isolation...
Stamped Document Continuing Accountability - Engineer A Water Rights Analysis
Engineer A is obligated to maintain ongoing professional accountability for the technical integrity of the...
Former Employer Client Loyalty - Engineer A Non-Adverse Participation
Engineer A is obligated to honor residual loyalty to his former private client by refraining from participating in...
Former Client Adversarial Proceeding Consent Prerequisite - Engineer A Water Rights State Proceeding
Engineer A is obligated to refrain from participating in or representing the State's interest in the water-rights...
Expert Witness Engineering Non-Advocate Objectivity - Engineer A BER 98-4 Expert Role
Engineer A, as an expert witness in patent and product liability litigation, was obligated to render objective...
Non-Absolute Former Client Loyalty Boundary - Engineer A BER 98-4 Sequential Adverse Service
Engineer A correctly recognized that her faithful agent duty to ABC Manufacturing did not create an absolute...
Non-Absolute Former Client Loyalty Boundary - Engineer A Water Rights Proceeding Distinction
Engineer A must correctly distinguish between the non-absolute loyalty principle (which would permit adverse service...
Appearance of Impropriety Avoidance Through Isolation - Engineer A State Isolation Protocol
The State is obligated to assign Engineer A to other duties and maintain his formal isolation from the water-rights...
Confidentiality Obligation - Engineer A Former Employer and Client Technical Information
Engineer A is obligated not to disclose, without consent, confidential information concerning the business affairs...
Current Employer Litigation Strategy Confidentiality - Engineer A State Employment
As a State employee, Engineer A is obligated not to share the State's litigation strategy, internal technical...
Stamped Document Continuing Technical Accountability - Engineer A Water Rights Analysis
Engineer A's professional seal on the water-rights analysis creates a continuing accountability for the technical...
Current Employer Litigation Strategy Confidentiality Obligation
Duty of a licensed professional engineer employed by a public agency that is a party to litigation or a regulatory...
Former Client Adversarial Proceeding Consent Prerequisite Obligation
Duty of a licensed professional engineer who has gained particular specialized knowledge on behalf of a former...
Non-Absolute Former Client Loyalty Boundary Obligation
Duty of a licensed professional engineer to recognize that the faithful agent and trustee obligation owed to a...
Appearance of Impropriety Avoidance Through Isolation Obligation
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Conflict of Interest Disclosure Evolution Compliance Obligation
Duty of a licensed professional engineer to comply with the current, evolved standard of conflict-of-interest...
Private-to-Public Adversarial Non-Participation - Engineer A Water Rights Proceeding
Engineer A is obligated to refrain from actively participating in the water-rights court proceeding on behalf of...
Former Client Adversarial Proceeding Consent Prerequisite - Engineer A BER 98-4 Multi-Party Litigation
In BER 98-4, Engineer A's sequential service to ABC Manufacturing and then to an adverse plaintiff was permissible...
Conflict of Interest Disclosure Evolution Compliance - Engineering Profession Historical Context
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Private-to-Public Transition Adversarial Proceeding Non-Participation - Engineer A Water Rights
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26 entities
States
S
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384D
Prior Specialized Knowledge Participation Bar State
State in which a professional engineer is prohibited from participating in or representing an adversarial interest...
BER 98-4 Engineer Expert Non-Advocate Independence
Engineer A's professional role as expert witness in adversarial patent and product liability proceedings, where...
Sequential Adverse Representation in Unrelated Matters State
State in which a professional engineer has, over time, provided expert services to parties on opposing sides of...
Stamped Document Author in Active Adversarial Proceeding State
State in which a professional engineer who co-stamped and is professionally responsible for a technical document...
Engineer A Formal Recusal from State's Case
Engineer A's formal organizational isolation from the State's case in the water-rights proceeding, implemented by...
Water-Rights Court Proceeding Active State
The ongoing multi-step water-rights court process in which the engineering analysis is embedded, currently past step...
Formal Recusal from Opposing Case State
State in which a professional engineer who has transitioned to employment with an opposing party in an active...
Engineer A Cross-Side Employment Transition
Engineer A's transition from private firm (applicant side) to the State (objector side) in the same active...
Engineer A Stamped Document Author in Active Proceeding
Engineer A's professional responsibility for the co-stamped water-rights analysis document that is now the subject...
Engineer A Insider Knowledge of Opposing Analysis
Engineer A's detailed insider knowledge of the water-rights analysis he performed and co-stamped, now held while...
Engineer A Adversarial Proceeding Fact Polarization
The adversarial structure of the water-rights court proceeding, which creates pressure on all technical participants...
BER 98-4 Engineer A Sequential Adverse Representation
Engineer A's sequential expert engagements for ABC Manufacturing and adverse plaintiff across unrelated patent and...
Engineer A Prior Specialized Knowledge Participation Bar - Water Rights Proceeding
Engineer A's prohibition on participating in the state's water rights case due to specialized knowledge gained while...
Engineer A Conflict of Interest - Cross-Side Employment
Engineer A's professional situation in which his prior obligations to the private firm's client and his current...
Engineer A Mandatory Silence and Isolation - State Water Rights Case
Engineer A's ethical compliance posture of remaining silent and isolated from the state's water rights proceeding,...
Engineer A Cross-Side Employment Transition - Water Rights Proceeding
Engineer A's transition from private firm employment (serving the private client in the water rights matter) to...
Multi-Stage Court Proceeding Active State
State in which a technical professional matter - such as a water-rights analysis - is embedded within a formal...
Engineer Non-Advocate Expert Independence State
State in which a professional engineer is engaged in an adversarial legal proceeding as an expert witness or...
Mandatory Silence and Isolation Compliance State
State in which a professional engineer, having been barred from participation in an adversarial proceeding due to...
19 entities
Resources
Rs
w=0.1
384D
Water Rights Adjudication Legal Framework
The legal and procedural framework governing water-rights analysis and court adjudication processes, including...
Public-Official-Conflict-of-Interest-Standard-WaterRights
Governs Engineer A's conduct as a new State employee who previously stamped a report for a private client now...
Professional-Responsibility-Acknowledgment-Standard-StampedWork
Establishes Engineer A's ongoing professional obligation to accept responsibility for and support the water-rights...
Cooling-Off-Period-Framework-WaterRights
Provides guidance on the appropriate waiting period and isolation measures for Engineer A following his transition...
Adversarial Proceeding Conflict of Interest Standard
Professional norms and ethical obligations governing an engineer's duty to disclose and manage conflicts of interest...
BER Case No. 98-4
Cited as the primary precedent governing engineer participation in adversarial proceedings involving former clients;...
Agent-Trustee Distinction Framework (NSPE Code Section II.4)
Invoked to clarify the scope of an engineer's loyalty obligation to former clients; the Board uses this framework to...
NSPE Code of Ethics for Engineers
Primary normative authority cited throughout the discussion, including Section II.4 on faithful agent and trustee...
Engineer Stamped Document Responsibility Standard
Professional norms and ethical obligations governing an engineer's ongoing responsibility for work they have stamped...
Conflict-of-Interest-Disqualification-Standard-WaterRights
Governs Engineer A's recusal and isolation from the State's case in the water rights adjudication, establishing when...
NSPE-Code-of-Ethics
Primary normative authority governing Engineer A's professional obligations regarding conflict of interest,...
Water-Rights-Court-Adjudication-Framework
Defines the multi-stage legal process (application, engineering support, objections, rebuttal, mediation/trial)...
Revolving-Door-Employment-Policy-WaterRights
Addresses the ethical and legal constraints on Engineer A's transition from a private engineering firm to the State...
Transitional-Employment-Ethics-Framework-WaterRights
Provides the overarching ethical decision framework for Engineer A's obligations and constraints when transitioning...
Adversarial Proceeding Conflict of Interest Standard (NSPE Code - Confidentiality and Adverse Interest Provisions)
Applied to Engineer A's situation as a state employee asked to participate in water rights proceedings involving a...
15 entities
Actions
A
w=0.1
384D
Deciding to Support Prior Stamped Work
Refraining from Disclosing Confidential Information
Stamping Final Analysis Document
Resigning from Private Firm
Electing Isolation from State's Case
5 entities
Events
E
w=0.08
384D
Water-Rights Proceeding Initiated
Conflict of Interest Materializes
Steps 1-2 Completed by Engineer A
Isolation Formally Implemented
Prior BER Precedent Applicable
Consent Requirement Triggered
Proceeding Continues Post-Transition
7 entities
Capabilities
Ca
w=0.07
384D
Dual Loyalty Conflict Navigation Capability
Capability to recognize and navigate situations in which a licensed professional engineer owes concurrent loyalty...
Engineer A - Private-to-Public Adversarial Proceeding Participation Boundary
Engineer A must possess the capability to correctly identify the boundary between permissible support of his prior...
Stamped Document Ongoing Technical Accountability Capability
Capability of a licensed professional engineer to recognize and honor the continuing professional accountability...
Private-to-Public Adversarial Proceeding Participation Boundary Capability
Capability of a licensed professional engineer who has transitioned from a private firm to a public agency that is...
Current Employer Litigation Strategy Confidentiality Capability
Capability of a licensed professional engineer employed by a public agency that is a party to litigation or a...
Water Rights Engineering Technical Competence
Domain-specific technical competence to perform water-rights analyses, including quantifying water resources,...
Engineer A - Current Employer Litigation Strategy Confidentiality
Engineer A must possess the capability to recognize and protect the confidentiality of the State's litigation...
Engineer A - Water Rights Engineering Technical Competence
Engineer A possesses advanced technical competence in water rights engineering, having performed and stamped a...
Engineer A - Dual Loyalty Conflict Navigation
Engineer A must possess the capability to navigate the concurrent loyalty obligations he owes to his former private...
Engineer A - Revolving Door Recusal Obligation Assessment
Engineer A possesses the capability to assess whether his prior employment at the private firm creates a conflict of...
Engineer A - Revolving Door Regulatory Gap Navigation
Engineer A must possess the capability to recognize that formal revolving-door provisions or cooling-off period...
Engineer A - Stamped Document Ongoing Technical Accountability
Engineer A possesses the capability to recognize that stamping the water-rights analysis report created an ongoing...
Engineer A - Conflict of Interest Recognition and Recusal
Engineer A possesses the capability to recognize that his prior employment relationship with the private firm - and...
Engineer A - Former Employer Ongoing Duty Recognition
Engineer A possesses the capability to recognize that his prior employment at the private firm - and his...
14 entities
Constraints
Cs
w=0.08
384D
Cross-Side Employment Adversarial Participation Prohibition Constraint
Ethical and regulatory constraint prohibiting a licensed professional engineer who has transitioned from employment...
Stamped Document Author Adversarial Non-Weaponization Constraint
Ethical constraint prohibiting a licensed professional engineer who co-stamped a technical document from allowing...
Insider Knowledge Non-Deployment Against Former Client Constraint
Ethical constraint prohibiting a licensed professional engineer who has transitioned to employment with a party...
Former Client Adversarial Proceeding Consent Prerequisite Constraint
Ethical and regulatory constraint prohibiting a licensed professional engineer from disclosing confidential...
Stamped Document Non-Abandonment - Engineer A Water Rights Analysis
Engineer A retains ongoing professional accountability for the technical integrity of the water-rights analysis he...
Engineer Expert Non-Advocate Independence - Engineer A BER 98-4 Expert Witness Role
Engineer A, as an expert witness in patent and product liability litigation, was constrained to render objective...
Revolving Door Transition Ethics - Engineer A Private to State Employment
Engineer A's transition from the private engineering firm (serving the water-rights applicant) to the State agency...
Cross-Side Employment Participation Bar - Engineer A Water Rights Proceeding
Engineer A is prohibited from actively participating in the water-rights court proceeding on behalf of the State...
Prior Employment Recusal - Engineer A State Water Rights Case
Engineer A must recuse himself from any administrative, technical, or advisory role in the State's case against the...
State Litigation Strategy Confidentiality - Engineer A Current Employer Obligation
Engineer A is constrained from accessing, disclosing, or transmitting the State's litigation strategy, internal...
Temporal Recency Conflict Weight - Engineer A Recent Transition Water Rights
Because Engineer A's transition from the private firm to the State occurred while the water-rights proceeding was...
Stamped Document Adversarial Non-Weaponization - Engineer A Water Rights Analysis
Engineer A is prohibited from allowing his co-authorship of and insider knowledge about the water-rights analysis to...
Prior Employment Recusal - Engineer A Cross-Side Employment Water Rights
Engineer A is required to recuse himself from any exercise of official State authority or technical participation in...
Current Employer Adversarial Strategy Confidentiality Constraint
Confidentiality constraint requiring a licensed professional engineer employed by a party to an active adversarial...
Stamped Document Ongoing Technical Accountability Non-Abandonment Constraint
Ethical and regulatory constraint establishing that a licensed professional engineer who has affixed their seal to a...
Dual Employment Appearance of Impropriety Isolation Constraint
Ethical and organizational constraint requiring that when a licensed professional engineer's cross-side employment...
Conflict of Interest Disclosure Supersession of Absolute Avoidance Constraint
Regulatory and ethical constraint establishing that the evolved professional standard for conflict-of-interest...
Engineer Expert Non-Advocate Independence Constraint
Ethical constraint prohibiting a licensed professional engineer serving as an expert witness or technical reviewer...
Non-Absolute Former Client Loyalty Perpetuity Prohibition Constraint
Ethical constraint establishing that a licensed professional engineer's faithful agent and trustee obligation to a...
Former Client Adversarial Consent Prerequisite - BER 98-4 Permissibility Boundary
In BER 98-4, the consent prerequisite constraint was not triggered because Engineer A's sequential adverse service...
Conflict of Interest Disclosure Supersession - Engineering Profession Historical Evolution
Engineers are constrained to apply the current evolved disclosure-based standard for conflict-of-interest management...
Non-Absolute Former Client Loyalty - Engineer A BER 98-4 Sequential Adverse Service
Engineer A's faithful agent obligation to ABC Manufacturing did not create a perpetual absolute loyalty bar...
Non-Absolute Former Client Loyalty - Engineer A Water Rights Proceeding Distinction
Engineer A must correctly apply the non-absolute loyalty principle - recognizing that while faithful agent status...
Former Client Adversarial Consent Prerequisite - Engineer A Water Rights Proceeding
Engineer A is absolutely barred from disclosing confidential information, participating in, or representing the...
Insider Knowledge Non-Deployment - Engineer A Former Private Client Water Rights
Engineer A is prohibited from deploying his specialized insider knowledge of the water-rights analysis - including...
Dual Employment Appearance of Impropriety Isolation - Engineer A State Water Rights Case
The State is constrained to assign Engineer A to other duties and maintain his formal organizational isolation from...
Post-Employment Confidential Information Non-Exploitation - Engineer A Former Employer and Client
Engineer A is prohibited from exploiting confidential information, technical processes, and business affairs of his...
27 entities
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